Streamlining COI New Annual Conflict of Interest Procedure (National Science Foundation Investigators) Nadia Wong COI Administrator

Transcription

1 Streamlining COI New Annual Conflict of Interest Procedure (National Science Foundation Investigators) Nadia Wong COI Administrator

2 Agenda Main Changes KC COI Getting Ready Resources & Contacts These NSF procedures also apply to agencies and organizations adopting the National Science Foundation (NSF) Conflict of Interest Policy.

3 3 Main Changes for NSF Investigators No Financial Interests: Complete the Annual Disclosure every 12 months Financial Interests: Complete the Annual Disclosure (every 12 months) and the NSF Disclosure (for each new proposal) NSF Disclosure has been shortened to one question

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5 5 Benefits Less forms Less questions Disclosure tracking Automated reminders

6 KC COI Disclosures Annual Disclosure NSF Disclosure Master Disclosure Investigator: An individual responsible for the design, conduct, or reporting of the funded research project

7 7 UCI Investigator (pg. 1) Change: Annual Disclosure New section in Zot!Portal under the Research tab for KC COI Click Create/Update Annual Disclosure

8 8 UCI Investigator (pg. 1) Question 1- Disclosure transaction type Investigators primarily select No Yes indicates: A new SFI that requires additional COIOC review New SFI includes: A different type of SFI (e.g. royalty payment vs. income) from previously disclosed entity A SFI from a new entity

9 9 UCI Investigator (pg. 1) Question 2- Disclosure of significant financial interests excluding travel Income (honoraria, consulting income, etc.) Equity interests (stock, stock options, and other ownership interests) Royalty Payments (from intellectual property not assigned to UC Regents)

10 10 UCI Investigator (pg. 1) Question 3- Disclosure of sponsored or reimbursed travel Remember to consider the listed travel exclusions Investigators who are not involved in any PHS or PHS compliant projects do not need to complete the Travel Log

11 11 UCI Investigator (pg. 2) Click submit. You completed your Annual Disclosure! Note: Only Investigators have access to their own Annual Disclosures.

12 Change: Update SFIs electronically 12 UCI Investigator (pg. 2) To update or report a new SFI excluding travel, select Yes to the first question of the Annual Disclosure The Annual Disclosure Questions 2 and 3 should reflect all of your current financial interests in addition to the new SFI.

13 13 UCI Investigator Jun 2016 First Annual Disclosure completed (disclosed Google equity interests) Jul 2016 New sponsored travel: NSF Investigators do not need to disclose (no action necessary) Jan 2017 Receive $10,000 (a new SFI type) from Google- Update Annual Disclosure by selecting Yes for Question 1 in the Annual Disclosure Nov 2017 Notified Annual Disclosure about to expire (11 months after last Annual Disclosure) - Submit a new Annual Disclosure and select No for Question 1 since this is a standard Annual Disclosure

14 Change: NSF Disclosure (replaces Form 900) If you answered yes to the Annual Disclosure second question, then you must complete the NSF Disclosure for each NSF proposal that lists you as an Investigator. Answer the one question and click submit NSF Investigator (pg. 4) 14

15 15 UCI Investigator (pg. 4) Change: Master Disclosure Master Disclosure: View all of your completed past disclosures

16 New Proposals

17 17 Initiator (pg. 1) Change: List all UCI Investigators on the project. List all individuals that previously would have completed a Form 900 for this project Listed Investigators will be notified if they have not completed the necessary disclosures.

18 18 Initiator (pg. 1) To add an individual- click the magnifying glass icon Search the name/ucinetid and click return value

19 19 Initiator (pg. 2) Select the Proposal Role Click add person Repeat until all Investigators have been added For more information, visit

20 Change: Updated two COI Questions If yes: Subrecipient- Upload the NSF Form 900SRs in subrecipient package 20 Initiator (pg. 2) Non-UCI Investigators- Upload NSF Form 900SRs as separate labeled file

21 21 Initiator (pg. 2) Change: Disclosure tracking All disclosures must be completed before proposal is submitted to sponsor Proposal Summary tab Personnel tab

22 Change: Request Annual Disclosure (optional) 22 Initiator (pg. 4) Personnel tab: Click request annual disclosure to send an to Investigators with incomplete Annual Disclosures Note: Template will include all Investigators so please delete those Investigators who have already completed their disclosures

23 Complete the old (current) process Must NOT update the KC Questionnaire when prompted after June 23 rd (ignore prompt) Must upload disclosure forms labeled as NSF Financial Disclosure Form 900 and answer old COI questions before June 23 rd Transition Period Proposals created before June 23 rd (KC COI Implementation) will have a choice: Use the new KC COI process Updated the KC Questionnaire Disclosure forms not labeled and uploaded and/or old COI questions not completed before June 23 rd Process: Update the KC Questionnaire when prompted to answer the updated COI questions Add all Investigators in the Personnel tab and have Investigators complete the Annual Disclosures

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25 25 Startup Steps: Today Transition Period: in progress proposal applications that will be completed after June 23 rd Old/Current Procedures Upload and label Form 900 disclosures and complete the current COI questions Do NOT update the KC Questionnaire- ignore prompt New KC COI Procedures Do NOT collect Form 900 disclosures Update the KC Questionnaire after June 23 rd when prompted, list all UCI Investigators on the Personnel tab, and answer the updated COI Questions

26 26 Startup Steps to Success: Day 1 of KC COI All Investigators Complete the Annual Disclosure Initiators Include all Investigators in the Personnel tab and answer the updated COI Questions when submitting a new NSF proposal

27 27 All KC COI Notifications KC COI Notification Action Item/Action Required Reminder Action Respond as soon as possible to avoid delays in processing your project Respond if applicable (ex. you need to update your financial interests or your Annual Disclosure is about to expire)

28 28 Training Opportunities KC COI Office Hours: June 2016 Sign up in UCLC, search KC COI Opportunities to see KC COI up close in the computer lab and have more personalized training One-on-One Training (only by request:

29 29 Resources KC COI Overview Video: Annual COI Disclosure Implementation: Tips and Training (era website): COI Disclosure Forms:

30 30 Contacts KC COI Questions: Conflict of Interest Questions: Amy Green (COI Analyst), Nadia Wong (COI Administrator),